Kimberly A. Springsteen-abbott
Professional summary
Kimberly Ann Springsteen-abbott was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kimberly is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Kimberly had worked at 3 firms, which includes COMMONWEALTH CAPITAL SECURITIES CORP., FIRST UNION CAPITAL MARKETS CORP., BUTCHER & SINGER INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 1997 - August 23, 2016
COMMONWEALTH CAPITAL SECURITIES CORP.
September 25, 1989 - April 7, 1997
FIRST UNION CAPITAL MARKETS CORP.
August 9, 1989 - April 7, 1997
FIRST UNION CAPITAL MARKETS CORP.
May 23, 1989 - September 21, 1989
BUTCHER & SINGER INC.
February 2, 1983 - February 27, 1987
BUTCHER & SINGER INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COMMONWEALTH CAPITAL SECURITIES CORP.
CRD#: 39979 / SEC#: , 8-48915
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HJA TRUST | OWNER, COMMONWEALTH CAPITAL SECURITIES CORP. | |
| ABBOTT, HENRY JOSEPH | CHAIRMAN, CEO, PRESIDENT, NON-OWNER | 2676347 |
| DOSTER, BRIAN R | DIRECTOR, TRUSTEE OF HJA TRUST, GENERAL COUNSEL, NON-OWNER | 6764205 |
| PRUETT, JAMES TRAVIS | DIRECTOR, SENIOR VICE PRESIDENT, ANTI-MONEY LAUNDERING COMPLIANCE OFFICER, CHIEF COMPLIANCE OFFICER, NON-OWNER | 4849769 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
